Synergy Capital Solutions has offices in Illinois, Florida and Michigan.
Mark J. Varacchi may have to return $3.95 million his firm allegedly stole from investors.
In one example, Scott Allen Sibley allegedly exposed risk-averse retiree to naked options.
Walter Stamper of Chattanooga, Tenn., managed $147 million
Ex-broker now accused of violating securities laws with fictitious investments
Four-person advisory group in Charleston, S.C., manages $178 million
Walter Marino allegedly profited from advising elderly clients to buy new contracts.
Next-generation financial planning community sponsors effort to find new tools for younger clients, advisers.
Massachusetts regulator calls the pending legislation 'a gift to the investment industry and Wall Street special interests.'
Four breakaways in Colorado Springs sign on with HighTower.
